Roman Catholic Archdiocese of Southwark Finance Office … Office Retention... · 2019-04-08 · 2...
Transcript of Roman Catholic Archdiocese of Southwark Finance Office … Office Retention... · 2019-04-08 · 2...
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Roman Catholic Archdiocese of Southwark
Finance Office Retention Schedule
Version 1.3
Last Reviewed April 2019
Next Review January 2020
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Introduction The Roman Catholic Archdiocese of Southwark Finance Office Retention Schedule attempts to identify processes, rather than identifying individual types of records. This is for two reasons:
To have the retention period apply to all records independent of format, i.e. the same rules apply to a paper file, an e-mail or another electronic document/ digital file
To allow flexibility in developing the schedule to cover new processes and amend existing ones over time.
The Schedule is intended to cover the lifecycle of records and information from creation through to destruction, permanent retention or preservation. Records intended for destruction under the Schedule may be destroyed in accordance with the provisions of the Schedule. Backup copies stored on alternative media
(server/microfilm/paper) should also be destroyed. Typical methods to destroy electronic records, which include holding media such as optical, magnetic and solid state
storage, are overwriting, degaussing and physical destruction. Advice shall be sought from the ICT team when considering the destruction of such media. In all instances
(physical and electronic) where ICT storage media is destroyed a certificate of destruction shall be provided and held as a permanent record. This is vital to ensure
compliance with the requirements of Data Protection legislation.
Limitation of Scope Very few types of records have specified time periods for retention in law or in official government guidance. Where such requirements and advice exists it is included in this Schedule. Where advice does not exist, it is up to the Finance Office to decide how long it wishes to retain records. This Schedule gathers together retention criteria from a comprehensive best practice review of a wide range of guidance. Objectives of the Retention Guidelines The aims of the Guideline are to:
Prevent the premature destruction of records that need to be retained for a specified period to satisfy legal, financial and other requirements of public administration
Provide consistency for the destruction of those records not required permanently after specified periods in order to reduce the costs of unnecessary storage
Promote improved Records Management practices within the Finance Office which gives confidence that when information is destroyed it is done so according to well-considered rules
Create space by following procedures to ensure the timely destruction of records
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Assist in identifying records that may be worth preserving permanently as part of the Diocesan Archive
Responsibility It is the responsibility of all staff to follow the guidance provided in the Retention Schedule and ensure that proper Records Management practices are implemented into their everyday work. Destruction of Records Whenever there is the possibility of litigation, the records and information that are likely to be affected should not be amended or disposed of until the threat of litigation has been removed. Records that are currently (or likely to be in the future) the subject of a Data Protection or GDPR official request or appeal, then they must not be destroyed until that request or appeal has been completed. To knowingly destroy a record when it is subject to a request/ complaint is an offence. All members of staff must have any destruction approved by their manager by filling in the ‘Records Disposal Form’ which can be found on the FO Information Drive. This information is also kept in a separate log. This log cannot be disposed because it is evidence of when, how and why the records have been destroyed. This log has security privileges applied, ensuring that only managers have access to edit and write over content. General and Miscellaneous Records There are some records that do not need to be kept at all that staff may routinely destroy in the normal course of business; this is referred to as ‘routine destruction’. This usually applies to information that is duplicated, unimportant or only of short-term value. Unimportant records or information can include:
• ‘With compliments’ slips • Printed catalogues, trade journals, publications, flyers, or newsletters • Telephone message slips • Trivial electronic mail messages or notes that are not related to Finance Office business • Requests for stock information • Out-of-date distribution lists
Duplicated and superseded material such as manuals, drafts, forms, address books and reference copies of annual reports may be destroyed under this rule. Electronic copies of documents where a hard copy has been printed and filed, and paper faxes after making and filing a photocopy, are also covered.
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Reviewing the Schedule
The schedule will be regularly reviewed by the Financial Secretary and the Archivist and updated, amended and modified as and when retention details change, new information is obtained, or regulations and legislation that govern information and its use are introduced and changed to ensure that the Finance Office is complying with the latest legal advice. These changes will be reflected as soon as possible. Changes will be highlighted so that staff can keep track and modify their practices accordingly. The Schedule will be subject to the timetable for general review. Revision history is available at the end of this document.
Explanation of Retention Guideline Headings The Schedule is structured according to two levels of categorisation - the main functions of the Finance Office and sub-categorisation into more specific groups [Figure One].
Function Activity Process Retention Period
Record Types Reason Source
Financial Management
Payroll/ Financial Processing
Accountable processes relating to payment of employees
Destroy six years + current year
Income tax records re employees leaving i.e. P45
Taxes Management Act 1
[Figure One] Function The Schedule has been divided to cover the main functions of the Finance Office. These are Financial Management, Human Resources, Property Management, Strategic Management, Clergy, Schools, General Administration and Information and Records Management. Activity This field relates to the specific activities within each function. Process The Schedule provides a description of a process or an activity that the records support. The Schedule may also include instructions or guidelines relating to weeding, sampling, instructions on disposal, information on duplication of record content in other classes and cross-references to other entries within the Schedule.
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Retention Period This field shows the length of time for which a record should be kept. This period (usually in years) can be applied from the date a record is closed or tied in to another specified activity. If there are multiple retentions that are applicable to a record group apply the longest retention – it is better to retain for longer if you are in doubt.
Record Type This section provides common examples of the type of records included within the particular function. The types provided here are not exhaustive. Associated records with this function have the same retention applied. Correspondence relating to the activity is automatically included in the record type. The correspondence can be appraised at a later date and if deemed necessary it can be destroyed. Reason This indicates if the retention action is common practice or statutory, plus any other useful information. As far as possible specification legislation has been cited. Source This indicates where this retention period has been sourced from. The table contains a reference number, for which the full details can be found in the index at the end of the document.
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Glossary of Terms Administrative Use When business use has ended or the file has been closed. Closure Example: Destroy ‘x’ years from closure A record/ file should be closed when it ceases to be active. Records/ files can be closed when:
• They reach an unmanageable size (a new volume should be created) • They cover ‘x’ years i.e. a maximum time period • No more records have been added in ‘x’ years or another specified set period of time • No action has taken place after ‘x’ period of time
Closure Period Specified period of time during which the record is subject to restrictions on provision of access to staff and/or the public may be dictated by statutory requirements or by the authority’s policy. Any closure period should comply with current legislation on access to information – including the Data Protection Act and GDPR. Common Practice Standard practice followed for specific activities. Last Action Destroy ‘x’ years after last action. Date of most recent addition/ amendment/ deletion of information. Permanent Records that must be kept indefinitely (or for approximately 100 years) for legal and/or administrative purposes, and/or are of enduring value for historical research purposes. Where appropriate these records are transferred to the Diocesan archive for safekeeping.
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Contents Introduction ............................................................................................................................................................................................................................................................... 2
Reviewing the Schedule ............................................................................................................................................................................................................................................. 4
Glossary of Terms ....................................................................................................................................................................................................................................................... 6
1. Financial Management ....................................................................................................................................................................................................................................... 8
2. Human Resources ............................................................................................................................................................................................................................................ 16
3. Property Management ..................................................................................................................................................................................................................................... 23
4. Strategic Management ..................................................................................................................................................................................................................................... 35
5. Clergy ............................................................................................................................................................................................................................................................... 37
6. Schools ............................................................................................................................................................................................................................................................. 40
7. General Administration .................................................................................................................................................................................................................................... 43
8. Information and Records Management ........................................................................................................................................................................................................... 45
Index of Sources ....................................................................................................................................................................................................................................................... 46
Revision History ....................................................................................................................................................................................................................................................... 47
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1. Financial Management
Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
Financial Management
Payroll/ Financial Processing.
Accountable processes relating to payment of employees. This includes all related correspondence.
1.1.1 Destroy six years + current year
Income tax records re employees leaving i.e. P45
Taxes Management Act 1, 16 & 17
Notice to employer of tax code (P6)
Taxes Management Act
Records documenting the preparation and filing of the institution’s tax returns
Taxes Management Act
Annual return of employees and directors expenses and benefits (P11D)
Taxes Management Act
Certificate of pay and tax deducted (P60)
Taxes Management Act
Notice of tax code change Taxes Management Act
Annual return of taxable pay and tax deducted
Taxes Management Act
Records of pension deductions (including superannuation)
Taxes Management Act
Payroll and payroll control account
Companies Act/ Charities Act and Taxes Management Act
1.1.2 Destroy six years + current year
Expense accounts for individuals
Taxes Management Act
Expense payments for courses/supplies/travel
Grant payments
Approvals/agreements for expenses
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Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
Wage and salary records
1.1.3 Destroy three years after the end of the tax year in which maternity periods ends
Statutory Maternity Pay records or calculations
The Statutory Maternity Pay Regulations
1.1.4 Destroy three years after the end of each tax year for Statutory Sick Pay purposes
Statutory Sick Pay records or calculations
Statutory Sick Pay (General) Regulations
1.1.5 Destroy three years after the end of each tax year against which a claim for the Employment Allowance has been made
Employer National Insurance Contributions
National Insurance Contributions Act 2014 - Section 7 (1) to (6) Social Security Administration Act 1992 – Section 110 ZA
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Financial Management
Financial Transactions Management.
Identification of the receipt, expenditure and write offs of monies including records and invoices relating to debtors, debits and refunds. This includes all related correspondence.
1.2.1 Destroy six years from the end of the financial year in which the transaction was made
Payments cash book or record of payments made
Companies Act/ Charities Act
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Purchase ledger
Invoice - revenue
Petty cash records
Bank paying in counterfoils
Bank statements
Bank reconciliations
Bills
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Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
If Marriage Tribunal payment ten years (Canon Law/Common Practice)
Cheques
Opening/closing of bank accounts
Grant payments
Receipts Statutory 3
1.2.2 Destroy one month + current date
Remittance advices
Financial Management
Financial Transactions Management
Financial contributions or payments made by Parishes determined through Parish Assessments. This includes levies, precision charge, DDF, Sick and Retired Priests Fund, Area Bishops, School Governors Fund, Gilt Fund, Conyers Fund, SGO Fund.
1.2.3 Destroy six years + current year
Parish assessments In line with other finance retention periods.
Payment notifications
Payment receipts
Contribution arrangement/agreements
Related correspondence
Financial Management
Financial Transactions Management
Financial Audits and taxation records.
1.2.4 Destroy six years + current year
Taxation records In line with other financial retentions
Parish Audits
Related correspondence Statutory 3
Financial Management
Financial Transactions Management
Statements/summaries prepared for inclusion in quarterly/annual reports.
1.2.5 Destroy after six years
Financial Summaries
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Financial Returns (from parishes)
Financial Statements
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Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
Records relating to Parish financial situation (including Parish debt)
Parish finances survey/ questionnaire
Related correspondence
Financial Management
Financial Transactions Management
Donations made to the Diocese/ Parishes. This includes all related correspondence.
1.2.6 Destroy six years after the last payment made. Twelve years if payments outstanding or dispute regarding the deed
Deeds of covenant Data Protection Act 2018/GDPR
3 & 20
Gift Aid declarations
Gift Aid claims (including working papers) mass intentions)
Mass intentions and their envelopes which are Gift Aided
1.2.7 Destroy six years from the end of the financial year in which the transaction was made
Donations Companies Act/ Charities Act
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Collections
Parish gifts
Appeals
1.2.8 Destroy after twenty-five years +one
Foundation masses 5
Arrangements for foundation masses
Schedule of foundation masses
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Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
1.2.9 Keep for one year then destroy if no further action
Generic/ general queries regarding foundation masses
Good practice 5
1.2.10 Permanent Legacies 5
Bequests
Wills
Estate statements/accounts
Administration of estates
Inventory of estate
Value of assets
Distribution of estate
Trust deeds
Financial Management
Reporting The process that consolidates financial transactions on an annual basis for corporate reporting purpose.
1.3.1 Permanent Consolidated Annual Reports Data Protection Act 2018/GDPR; Common Practice
2, 3 & 20 Consolidated Financial
Statements
Statement of Financial Position
Operating Statements
Related correspondence
Financial Management
Reporting The process that supports and consolidates financial transactions on a periodic (less than annual) basis, superseding those from the previous period.
1.3.2 Destroy when administrative use is concluded
Consolidated Monthly & Quarterly Reports
Common practice 3
Consolidated Monthly & Quarterly Financial Statements
Working Papers for the preparation of the above
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Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
Does not include journals, subsidiary ledgers and cash books.
Monthly Accrual Statements
Cash Flow Statements
Creditor Listings and Reports
Debtor Listings and Reports
Related correspondence
Financial Management
Budget and Estimates
The process of finalising the Financial Office’s/ Parishes annual budget.
1.4.1 Permanent Annual Budget 3
Related correspondence
Financial Management
Budget and Estimates
The process of development the Finance Office’s/ Parishes annual budget.
1.4.2 Destroy two years after annual budget adopted by the Finance Office/ Parishes
Draft Budget Common Practice 3
Departmental Budgets
Draft Estimates
Related correspondence
Financial Management
Budget and Estimates
The process of reporting which examines the budget in relation to actual revenue and expenditure.
1.4.3 Destroy after next year’s annual budget has been adopted by the Finance Office/ Parishes
Quarterly Statements Common Practice 3
Income and Expenditure Statements
Related correspondence
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Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
Financial Management
Loans The activity of borrowing money to enable the Diocese/Parishes to perform their functions and exercise their powers. This includes: Parishioner loans - Interparish loans - Diocesan loans - Bank loans
1.5.1 Destroy seven years after the loan has been repaid
Loan files Statutory 3
Loan arrangements/ repayments
Basement: Parishioner Loans – must be checked with Adrian before disposal decision can be made Diocesan Loan: Destroy after seven years Interparish Loan: Must be repaid by fifteen years – Destroy fifteen years + seven years
Loan certificates
Loan guarantees
Related correspondence
Financial Management
Loans Summary management of loan. 1.5.2 Permanent Loans Register Common Practice 3
Related correspondence
Financial Management
Investments The process of purchase or sale of investment
1.6.1 Destroy six years + current year
Expenditure records 6
Bank statements
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Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
This includes Cluniac investment, war stock etc.
Managed investment distribution statements
Related correspondence
Financial Management
Investments Summary/ management of investments.
1.6.2 Permanent Investment Certificates Companies Act, Charities Act, commercial
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Investment Ledger
Investment Reports
Related correspondence
Financial Management
Summary Asset Management
Summary management reporting on the overall assets of the Finance Office/Parishes/Diocese.
1.7.1 Permanent Schedules of Acquisitions Common Practice 3
Consolidated Current Asset Reports
Summary of Current Assets
Asset Registers
Related correspondence
Financial Management
Property Management
Management of business rates paid on properties owned by the Diocese/Parishes.
1.8.1 Destroy six years + current year
Business Rates In line with other finance retentions
Non-domestic Relief Rates
Charity Relief Rates
Related correspondence
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2. Human Resources
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Human Resources
Recruitment The process of selection of an individual for a position. Where candidates are success a copy of the job description, application and terms and conditions of employment will be placed on the successful candidate’s employee file. [see Employee File below for more details] This includes all related correspondence.
2.1.1 Destroy completion of appointment + six months
Vacancies Advertising Sex Discrimination Act 1975 Race Relations Act 1976 Disability Discrimination Act 1995
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2.1.2 Dispose six years after superseded
Job descriptions Data Protection Act 2018/GDPR; The National Archives Retention Scheduling: Employee Personnel Records
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2.1.3 Until age 100 Contract of Employment The National Archives Retention Scheduling: Employee Personnel Records
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2.1.4 Destroy completion of appointment + six months
Unsuccessful employment applications
Sex Discrimination Act 1975 Race Relations Act 1976 Disability Discrimination Act 1995
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2.1.5 Destroy termination of employment + six years
Successful applications Sex Discrimination Act 1975 Race Relations Act 1976 Disability Discrimination Act 1995
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
2.1.6 Six years References written by managers about individuals (e.g. to support promotion cases) or for former members of staff. References received for new starters.
The National Archives Retention Scheduling: Employee Personnel Records
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Human Resources
Termination The process of termination of staff through resignation, redundancy, dismissal and retirement.
2.2.1 Retain until employee age 100. This applies to employees who no longer work within the organisation. If no details of employee’s age can be found, it will be assumed that they are 18 years old and retention will be calculated on this basis.
Letters of resignation Data Protection Act 2018/GDPR; The National Archives Retention Scheduling: Employee Personnel Records
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Letters of redundancy
Letters of termination
Letters of retirement
Related correspondence
Human Resources
Employee Files Files relating to individual employees.
2.3.1 Retain until employee age 100.
Employee details (Employee's name, dates of employment, positions held)
Data Protection Act 2018/GDPR; The National Archives Retention
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
This applies to employees who no longer work within the organisation If no details of employee’s age can be found, it will be assumed that they are 18 years old and retention will be calculated on this basis.
Conditions of employment [contract/job description/ terms and conditions]
Scheduling: Employee Personnel Records
Disciplinary matters/ actions
Appraisals, yearly reviews
Related correspondence
Human Resources
Pension The process of administering pension entitlements & obligations are in accordance with agreed employment requirements. Note that some of this information will be contained within individual employee files.
2.4.1 Retain until employee age 100. This applies to employees who no longer work within the organisation. If no details of employee’s age can be found, it will be assumed
Pension estimates and awards
The National Archives Retention Scheduling: Employee Personnel Records
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Pensionable pay at leaving
Reckonable service for pension purposes (and actual service where this is different, together with reasons for the difference)
Amount and date of any Contributions
Equivalent Premium paid
All other papers relating to pensions not listed above
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
that they are 18 years old and retention will be calculated on this basis.
Papers about widow’s, widower’s, children’s and other dependant’s pensions
Records of pension provider/administrator
Related correspondence
Human Resources
Pension The process of reporting the accounting process of pensions.
2.4.2 Permanently Annual Accounts Companies Act, Commercial, Pensions Act 1995
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Actuarial Reports
Related correspondence
Human Resources
National Insurance The process of managing employee National Insurance contributions.
2.5.1 Destroy three years after the end of each tax year against which a claim for the Employment Allowance has been made
Employee National Insurance Contributions
National Insurance Contributions Act 2014 - Section 7 (1) to (6) Social Security Administration Act 1992 – Section 110 ZA
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Related correspondence
Human Resources
Employee Relations
The process of managing disciplinary and grievance investigations.
2.6.1 Destroy six years after last action on file
Records documenting grievances raised by staff (which do not relate directly to their own contracts of employment), the Finance Office’s response, action taken and the outcome. Includes records relating to court/tribunal cases.
Limitations Act 1980 9
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
This includes all related correspondence.
Human Resources
Employee Relations
The process of managing disciplinary and grievance investigations.
2.6.2 Destroy six years after closure of case
Records documenting grievances raised by an employee which relate directly to his/her own contract of employment, the institution's response, action taken and the outcome. Includes records relating to court/tribunal cases. This includes all related correspondence.
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Human Resources
Occupational Health
The process of checking and ensuring the health of staff. If information contained within individual employee files it must be retained until employee age 100.
2.7.1 Forty years after termination of employment
Health Surveillance Records Limitation Act 1980; Health and Safety at Work Act 1974
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Health Questionnaire
Medical Clearances
Related correspondence
Human Resources
Occupational Health
The process of providing private health care to employees
2.7.2 Permanent Details of medical schemes Commercial 1
Related correspondence
Human Resources
Occupational Health
The process of monitoring of areas where employees and persons are likely to have come in contact with dangerous substances such as Asbestos, lead, radiation and biological agents.
2.7.3 Destroy forty years from the date of the last entry
Medical reports of those exposed to a substance hazardous to health
Health and Safety at Work Act 1974; RIDDOR Regs (7) The National Archives Retention Scheduling: Employee Personnel Records
9 & 8
Related correspondence
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Human Resources
Staff Monitoring The process of managing staff attendance and absence
2.8.1 Destroy three years after the end of each tax year for Statutory Sick Pay purposes
Records documenting an employee's absence due to sickness
Statutory Sick Pay (General) Regulations
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Sick Notes
Medical Certificates
Related correspondence
Human Resources
Staff Monitoring The process of managing statutory leave such as maternity or paternity
2.8.2 Destroy six years from completion of entitlement
Records documenting the authorisation and administration of statutory leave entitlement
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Leave Request Forms
Related correspondence
Human Resources
Staff Monitoring The process of managing annual leave
2.8.3 Two years Annual Leave Request Forms The National Archives Retention Scheduling: Employee Personnel Records
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Records relating to the administration of an employee's contractual holiday entitlement.
Related correspondence
Human Resources
Staff Monitoring The process of monitory staff performance
2.8.4 Current year + six years
Probation reports 6
Appraisals
Performance Reviews
Related correspondence
Human Resources
Health and Safety The process of recording incidents/ accidents to staff
2.9.1 Destroy three years after closure
Incident/ Accident form Health and Safety at Work Act 1974;
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Accident books
Investigation reports
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Related correspondence The National Archives Retention Scheduling: Employee Personnel Records
Human Resources
Health and Safety Training staff in health and safety procedures
2.9.2 End of employment + five years
Training details The Management of Health and Safety at Work Regulations 1999
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Training resource/handouts
Related correspondence
Human Resources
Health and Safety Employer’s Liability Insurance
2.9.3 Forty Years Employer’s Liability insurance certificate
Employers’ Liability (Compulsory Insurance) Regulations 1998
1
Related correspondence
Human Resources
Health and Safety The process of managing and ensuring the safety of minors
2.9.4 Permanent Records relating to legal services in relation to sexual abuse and child protection
Inquiries Act 2005 14
Related correspondence
Human Resources
Training and Development
The process of training staff in relation to their roles
2.10.1 Six years Course/training details The National Archives Retention Scheduling: Employee Personnel Records
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Staff assessment details and outcomes
Related correspondence
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3. Property Management NB this section relates to all property owned by the Diocese/ Parish. This includes churches, presbyteries, sanctuaries, sacristies, baptisteries, convents, seminaries,
church halls, garages, plots of land, schools, flats, houses, chapels and chapels at ease (includes those based at non-parish/church locations such as hospitals and
universities).
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Property Management
Property Acquisition and Disposal
Plans 3.1.1 Permanent Plans
Useful information to retain particularly if surrounding property is still owned
[Architectural] Drawings
Property Management
Property Acquisition and Disposal
The acquisition of property by purchase, exchange, transfer or conveyance and disposal of property/land/freehold/ leasehold. Includes compulsory transfer/conveyance to Council for road, or for tube line
3.1.2 Permanently or until twelve years after property is disposed of. Records to be kept permanently if only part of an estate is sold.
Land Registry records Limitation Act 1980 10 & 5
Land Certificates
Valuations Surveys
Surveyors Report
Building Survey
Survey of Building Condition
Title Deeds
Legal Documents relating to the purchase of property or conveyance
Legal Documents relating to the sale of property
Tender documents
Conditions of Contracts
Photographs
Restrictive covenants
Related correspondence
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Property Management
Property Acquisition and Disposal
The management of the acquisition of property by lease
3.1.3 Dispose end of lease + fifteen years
Lease Limitation Act 1980 10
Lease Agreements
Applications for Leases
Restrictive covenants
Related correspondence
Property Management
Property Acquisition and Disposal
The acquisition of property by mortgage
3.1.4 Dispose seven years after repayment
Mortgage agreements/arrangement
In line with retention for loans
Mortgage repayments
Repossession of property
Related correspondence
Property Management
Property Acquisition and Disposal
Negotiations for properties where the property was not acquired or disposed (Aborted purchases/disposals of property)
3.1.5 Dispose closure of negotiations + six years
Restrictive covenants Limitation Act 1980 c.58 s2
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Surveys reports
Legal documents
Purchase offers
Related correspondence
Property Management
Property Acquisition and Disposal
The process for managing the letting/ tenancy of Diocesan/Parish owned property. Includes garages, flats, and halls. This refers to tenancy on property to telecom companies, electrical substations and Scout Groups.
3.1.6 Destroy twelve years from termination of tenancy
Property details 12
Length of tenancy
Details of tenants
Disputes and issues between tenant and landlord including court cases
Related correspondence
Property Management
Historic Property Papers
Records relating to the acquisition and disposal of property
3.2.1 Pre-1852 Permanent
Purchase Historical Interest
Sale
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Post -1852 – offer to the Parishes. If they decline they will be kept permanently.
Leasing
Renting
Conveyance
Assignments
Related correspondence
Property Management
Property Arrangements
The process for managing the letting/ tenancy of Diocesan/Parish owned property. Includes garages, flats, and halls.
3.3.1 Destroy - six years after tenancy has expired
Agreements relating to the tenancy
Limitation Act 1980 12
Service occupancy agreement
Tenancy renewal
Revision of rent
Rent review
Disputes/ issues between tenant and landlord including court cases
Rent arrears or repossession orders
Eviction from property
Grazing licence
Related correspondence
Property Management
Property Arrangement
The process of the Diocese/Parish renting property. Relates mainly to providing accommodation to retired priests.
3.3.2 Destroy - six years after tenancy has expired
Agreements relating to the tenancy
Limitation Act 1980 12
Tenancy renewal
Revision of rent
Rent review
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Disputes/ issues between tenant and landlord including court cases
Related correspondence
Property Management
Property Maintenance and Renovation
The process of managing and undertaking major renovations and development of property or land. Topics include extensions, external redecorations/refurbishments/building of new areas or properties such as the sanctuary, chapel, sacristy, baptistery or presbytery.
3.4.1 Destroy end of works + fifteen years
Project files contract for building works
Limitation Act 1980 10
Contractor review reports
Project Specifications
Plans
Installation Manuals
Certificates of Approval
Final Plans, Designs and Drawings of the building
Planning Applications. This includes all associated correspondence such as objections and alternations to applications. Only retain those submitted by the Diocese.
Planning Consents
Building Certifications
Collateral Warranties
Final Health and Safety Files
Surveyors Report
Building Survey
Survey of Building Condition
Structural Survey/ Report
Business Plan
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Feasibility Studies/Statements
Insurance for building works
Budgets for building works
Cost reports
Related correspondence
Property Management
Property Maintenance and Renovation
The process of managing and undertaking minor renovations, repairs and development of property. This includes review/replacement/servicing of heating systems/ boilers
3.4.2 End of works + six years
Maintenance of boilers/ central heating
Limitation Act 1980 10
Remedial works
Replacement of fixtures (e.g. lighting)
Related correspondence
Property Management
Road Maintenance The activity of maintaining and repairing roads, streets and paths. This relates to public paths, by-passes etc. that are being accessed by companies such as Thames Water, British Gas and BT. Works by such companies can also go onto the Diocesan/Parish property where permission is required.
3.5.1 Destroy fifteen years after action completed
Map of area This aligns with the retention period for major refurbishments.
Plans
Notices of works
Boundary arrangements/agreements
Complaints and queries
Schedule of works
Related correspondence
Property Management
Church Re-Organisation
Reordering of churches 3.6.1 Permanent Records relating to additions to the church such as altars, stained glass windows, organs, statues, narthex or relics. This also includes guidance on
Historical Interest
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Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
reordering of churches (issued by Diocese). It would be important to keep records such as invoices if there is no other record of such changes to the church.
Property Management
Church Re-Organisation
Reordering of churches 3.6.2 Permanent Records relating to the Historic Churches Committee which details applications of changes to churches, with discussions and minutes.
Historical Interest
Property Management
Church Re-Organisation
Redecoration of/ alternations to churches
3.6.3 Unsuccessful applications – six years Successful Applications - permanent
Records relating to bids/ grants/ applications for funding from bodies such as English Heritage or the Finance Committee
Application Forms
Feedback
Related correspondence
Property Management
Church Organisation
The process of managing graveyards and burial sites in the Diocese
3.6.4 Permanent Plans Historical Interest 5
Registers of graves
Related correspondence
Property Management
Church Organisation
Bishop visitations to the Parishes
3.6.5 Destroy after three years
Parish visitation reports
Preparation for visitation
Letters of thanks
Related correspondence
Property Management
Listed Status The process of managing the listed status of Diocesan/Parish property
3.7.1 Permanent Applications Historical Interest
Supporting papers
Feedback
Discussion notes
29
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Related correspondence
Property Management
Use of Diocesan/Parish Property
The use of Diocesan/Parish property for non-Church related activities. This includes - Church Social clubs - Community centres - Nurseries - Karate clubs - After school clubs - Playgroups - Youth clubs - Luncheon clubs
3.8.1 Dispose seven years after the closure of the club. If the club is still operating refer to above activities to determine retention period. For example if there are invoices look in Financial Management or if there are building maintenance issues look in Maintenance in Property Management.
Rule books
Setting up of social club
Arrangement(s) with the Diocese/Parish
Financing of the club
License
Related correspondence
Property Management
Use of Diocesan/ Parish Property
The process of managing and administering the use of Diocesan/Parish property for non-Church related activities.
3.8.2 Dispose seven years after last action
Social club management Relates to the retention above for social club that are now defunct and finance retentions of six years + one.
Issues with staff
30
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
This includes - Church Social clubs - Community centres - Nurseries - Karate clubs - After school clubs - Youth clubs - Luncheon clubs
Administration issues
License
Related correspondence
Property Management
Property and Land Maintenance
The process of managing land and environment surrounding Diocesan/Parish owned property
3.8.3 Destroy seven years after administrative use concluded
Tree preservation orders Common Practice 3
Related correspondence
Property Management
Property and Land Maintenance
The process of managing and identifying right of ways and right of light
3.8.4 Permanent Dispose when the property is disposed.
Land Registry documents Useful information to retain.
Disputes and queries
Agreement
Boundary arrangement/agreements
Maps
Plans
Related correspondence
Property Management
Property and Land Maintenance
The process of managing and identifying fence and path boundaries and maintenance
3.8.5 Destroy fifteen years after action completed
Disputes and queries This aligns with the retention period for major refurbishments.
Boundary arrangements/ agreements
Maintenance agreements
Maps
31
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Plans
Related correspondence
Property Management
Property and Land Maintenance
The process of managing and administering property and surrounding environment arrangements through licenses. Includes parking.
3.8.6 Destroy at the end of licence + six years
Applications and Certificates 10
Permits
Licenses
Management of compliance with license conditions
Identification of licensing requirements
Acquisition and maintenance of licenses
Related correspondence
Property Management
Property and Land Maintenance
Relating to the inspection and monitoring of the property/environment
3.8.7 Destroy six years + current year
Forms 12
Reports/ Findings
Related correspondence
Property Management
Parish Development
The merging or division of Parishes/ Diocese. This would include the cases of the Parish of Abbey Wood and the proposed (but not executed) division of the Diocese of Southwark and Kent.
3.9.1 Permanent Notes/Papers on merging or division
Historical Interest
Boundary arrangement/agreements
Plans
Related correspondence
Property Management
Diocesan Development
The process of relocating or building a new property for the Diocese.
3.10.1 If development goes ahead:
Meeting with residents/parishioners/parent
Aligns with retention for acquiring and disposing of property and for historical interest.
Preliminary considerations
32
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
This includes the relocation/resitting/building of new churches or schools.
permanently or until twelve years after property is disposed of If development does not go ahead: dispose closure of negotiations + six years
Preliminary evaluations
Reports/ notes on discussions
Proposals
Tenders
Surveys of locations/properties/land
Planning applications
Planning consents
Related correspondence
Property Management
Relationship Management
The process of dealing with issues/queries/ disputes with neighbours. This relates mainly to behaviour. Disputes are covered under different activities.
3.11.1 Destroy one year after closure
Reports
Formal complaints
Actions taken to resolve issues
Related correspondence
Property Management
Health and Safety The process of ensuring health and safety in Diocesan/Parish property
3.12.1 Review after fifteen years
All corporate health and safety policies
This has insurance implications in case of claims made under previous H&S policies.
3
Codes of practice
33
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Guidance
Forms and templates
Related correspondence
Property Management
Fire Safety The process of ensuring fire safety in Diocesan/Parish property. Note: works relating to creating fire exits are major/minor refurbishments.
3.13.1 Whilst still relevant – until reviewed or repeated
Fire Risk Assessment Statutory 3
Fire Evacuation Procedures
Fire log book
Fire certificates
Property Management
Insurance Policy Management
The summary management of insurance arrangements
3.14.1 Permanent Reports to the Insurance Committee
3
Reports by the insurance company
Insurance Register
Property Management
Insurance Policy Management
The summary management of insurance arrangements
3.14.2 Dispose expiry + forty years
Insurance Certificates Commercial practice 10 & 21
34
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Property Management
Insurance Policy Management
The process of insuring Property/vehicles/equipment against negligence, loss or damage
3.14.3 Destroy seven years after the terms of the policy have expired
Insurance renewals 3
Insurance Policies
Insurance valuations
Insurance premiums
Inventory of property/contents of property
Surveys of Parish/Diocesan property
Generic/ general queries regarding insurance
Related correspondence
Property Management
Insurance Claims Management
The process that records insurance claims made by Parishes/Diocese
3.14.4 Three years after settlement Dispose of any material relating to claim pre-1990. Relates mainly to the basement.
Recording of claims Data Protection Act 2018/GDPR
1
Claim forms
Insurance settlement/ compensation payments
Related correspondence
35
4. Strategic Management
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Strategic Management
Corporate Planning and Reporting
The process of preparing business for strategic consideration and making the record of discussion, debate and resolutions. This includes: - Finance Committee
Minutes - Trustee Minutes - School Governor
meetings and minutes - Parish Finance
Committee - Parish Committee
meetings and minutes
4.1.1 Permanent Only one copy of the final, agreed, signed copy need to be kept.
Agenda Historical Interest 10
Minutes
Memos - They provide valuable context to meetings and key issues within meetings. (Particularly in relation to the basement).
Supporting papers, appendices and annexes
Related correspondence
Strategic Management
Corporate Planning and Reporting
The process of preparing business for specific committees/ groups in relation to a project consideration and making the record of discussion, debate and resolutions. Relates to non-governing committees and this includes: - Building projects
meetings
4.1.2 Dispose three years from closure
Agendas 3
Minutes
Memos
36
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
- Health and safety committees
- Project based minutes
Supporting papers
Strategic Management
Trustees The process of managing the Finance Office
4.1.4 Destroy end of service + six years
Appointment of governors
In line HR retention for employees
37
5. Clergy NB. For the clergy the date of their death equals the end of their service.
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Clergy Clergy Files Files relating to individual members of the clergy
5.1.1 Review by Diocesan Archivist when clergy age 100. If no details of clergy’s age can be found, it will be assumed that they are 25 years old and retention will be calculated on this basis.
Clergy details (clergy’s name, dates of service, positions held) Clergy works (charitable, community involvement, advocacy) Related correspondence Records relating to Clergy that fall under the Human Resources function should instead follow that retention; such as National Insurance
Data Protection Act 2018; The National Archives Retention Scheduling: Employee Personnel Records; Historical Interest
7
Clergy Appointment of Clergy
The process of selection of a priest for a position
5.2.1 Permanent. This mainly relates to correspondence/ arrangements in the parish folders.
Records relating to the appointment of a new parish priest
Historical Interest
Arrangements with Parishes
Related correspondence
Clergy Expenses/ Grants Accountable processes relating to payment made to the clergy
5.3.1 Destroy six years + current year
Expense accounts for individuals Taxes Management Act 1
Expense payments for courses/supplies/travel
Mass stipends
Insurance cover for travel and holiday
38
Grant payments made to priests and students
Approvals/agreements for expenses
Related correspondence
Clergy Complaints/ Disciplinary
The process of managing complaints against members of the clergy
5.4.1 Destroy six years after closure of case. Records relating to sexual abuse must be kept permanently (IICSA)
Records documenting complaints against members of the clergy
Limitation Act 1980 Inquiries Act 2005
9 & 14
Actions/outcomes of complaints
Reports
Includes records relating to court/tribunal cases.
Related correspondence
Clergy Chaplaincy The process of managing Chaplaincies. For matters relating to the finances/property see Financial Management and Property Management sections above.
5.5.1 Dispose seven years after last action
Arrangement with the Diocese/Parish/location of Chaplaincy (e.g. university/hospital/international Chaplaincy)
Management of the Chaplaincy
Related correspondence
Clergy Healthcare The process of providing private health care to the clergy
5.6.1 Permanent Details of medical schemes
Commercial 1
Related correspondence
Clergy Healthcare The process of checking and ensuring the health of the clergy. If information contained within individual clergy files it must be retained until age 100.
5.6.2 Retain until clergy age 100. If no details of clergy’s age can be found, it will be assumed that they are 25 years old and retention will be
Health Surveillance Records Limitation Act 1980 Health and Safety at Work Act 1974
6 & 19
Health Questionnaire
Medical Clearances
Related correspondence
39
calculated on this basis.
40
6. Schools NB for matters relating to finance, property and HR use above sections. This section relates to records that are particular to the management of schools.
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Schools Admissions The process of managing the admissions of students to schools
6.1.1 Life of the policy + three years then review
School admissions policy School Admissions Code Statutory guidance for admission authorities, governing bodies, local authorities, schools adjudicators and admission appeals panels December 2014
13
All records (including correspondence) relating to the creation and implementation of the School Admissions’ Policy
Schools Admissions The process of managing the admissions of students to schools
6.1.2 Resolution of case + one year
Appeals made for unsuccessful admissions
School Admissions Code Statutory guidance for admission authorities, governing bodies, local authorities, schools adjudicators and admission appeals panels December 2014
13
Related correspondence
Schools School Status Proposals concerning the change of status of a maintained school. This includes Specialist Status Schools and Academies.
6.2.1 Date proposal accepted or declined + three years
Consultations 13
Reports/notes on discussions
Minutes of meetings
Decisions
Applications
Related correspondence
41
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Schools Agreements Agreements made with Local Authorities/Companies/Religious Orders in regards to running the school. This includes agreements for Special Status Schools and Academies.
6.3.1 Date of Expiry + fifteen years
Agreements Limitations Act 1980
Reports/notes on discussions
Related correspondence
Schools Funding The process of managing and administering funding received by the school
6.4.1 Current year + six years
Records/correspondence relating to funding/grants received by schools. This includes the Diocese (Finance Office) and the LEA.
In line with finance retentions.
Schools School Closure The process of closing of a school
6.5.1 Closure of school + six years
Records relating to the closure of a school
Reports/notes on discussions
Decisions
Consultations
Related correspondence
Schools
Re-organisation of Schools
The process of re-organising Catholic Schools within the Diocese. This includes the joining, relocating, and altering the remit of schools.
6.6.1 Permanent Diocesan position Historical Interest
Reports
Plans
Notes/Papers on re-organisation
Consultation
Approvals/ agreements from Local Authority
Related correspondence
42
Function Activity Process Retention Reference Number
Retention Period
Record Types Reason Source
Schools Reporting The process of reporting information from departmental committees. This includes the personnel committee, finance committee, building and estates committee.
6.6.2 Destroy date of report + three years
Reports from committees
Minutes of meetings
Related correspondence
Schools Reporting The process of reporting information about the school to parents/Diocese
6.6.3 Destroy date of the report + three years
Reports created by the Head or the Management Team
13
Ofsted Reports
Related correspondence
Schools Foundation Governors
The process of governing the school through maintaining a Catholic ethos
6.7.1 Destroy date of report + ten years
Annual Reports created under the requirements of the Education (Governor’s Annual Reports) (England) (Amendment) Regulations 2002
Education (Governor’s Annual Reports) (England) (Amendment) Regulations 2002 SI 2002 No 1171
13
Schools Foundation Governors
The process of governing the school through maintaining a Catholic ethos
6.7.2 Destroy end of service + six years
Appointment of governors
In line HR retention for employees
Replacement of governors
Related correspondence
Schools Governing Body The process of governing the school
6.7.3 Permanent Instruments of Government including Articles of Association
Historical Interest 13
Related correspondence
43
7. General Administration
Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
General Administration
Reference material
Information resources that provide staff with guidance and support in the course of their work. Topics include: - Staff handbook - Disability guidance - Equal opportunities - Guidance for Financial
Secretaries - RCIA guidance - IT guidance - Software guidance
7.1.1 Retain as current records in the workplace for convenience, seek to convert into shared electronic resources where possible and destroy original paper copies. Reference material should not be archived – either retain as current or destroy.
Handbooks 3
Protocols
Guidance documents
Manuals
General Administration
Publications Publications created by Parishes/ Diocese/ Schools. Ensure that Schools/Parishes are keeping copies of their own publications.
7.2.1 Current year + one year
Newsletters 13
Magazines
Brochures
School Prospectus
44
Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
General Administration
Surveys Initiatives undertaken by Parishes to understand views of Parishioners Relates only to records in the basement.
7.3.1 Destroy one year after last action
Surveys
Responses
Analyses
Related correspondence
General Administration
Events Events undertaken by Parishes. Relates only to records in the basement
7.4.1 Destroy one year after last action
Organisation of events Good practice 21
Invitations
Publications relating to events
Related correspondence
General Administration
General Correspondence
All other correspondence which cannot be linked and stored with other records relating to a specific process. e.g. arranging meetings, sending copies of agendas/reports, strings of emails where queries are being passed forward. Note that correspondence with significant individual (e.g. Pope) should be kept permanently for historical interest.
7.5.1 Keep for one year then destroy if no further action
General Correspondence letters
Good practice 3 & 21
General Correspondence e-mails
General Correspondence faxes
45
8. Information and Records Management
Function Activity Process Retention Reference Number
Retention Period Record Types Reason Source
Information and Records Management
Access to records Requests for Information dealt with under the provisions of the Data Protection Act 2018 and GDPR
8.1.1 Closure of SAR + six years
Subject Access Request (SAR) File
Limitation Act 1980 3 & 22
Related correspondence and documentation
Information and Records Management
Management of records
The process of ensuring information and records are managed effectively and appropriately in line with legislation and standards
8.2.1 Permanent. Keep only the most recent versions.
Retention Schedule Corporate and organisational legacy
Records Management Policy
Disposal log or registers of records destroyed
Vital Records Log
All other Records Management Databases; including basement listing, transfers to archives, loans and retrievals etc.
Information and Records Management
Disposal and destruction
The process of receiving proof of destruction of records (paper and electronic)
8.3.1 Destroy + six years after date of destruction and then review.
Destruction certificates (both paper and electronic) issued by secure disposal firms; this includes certificates of electronic disposal such as Multi Pass Pattern wiping, Degaussing, Incineration, etc.
Limitation Act 1980 18 & 19
46
Index of Sources
Source reference number
Detailed source information
1 http://www.cfg.org.uk/~/media/Document%20library/01%20Accounting/04%20Audit/Retention_of_Accounting_Records_update_0911EFIS0001.ashx Retention of Accounting Records
2 https://www.gov.uk/hmrc-internal-manuals/national-insurance-manual/nim06640 HMRC internal manual National Insurance Manual
3 https://www.essex.gov.uk/Your-Council/Your-Right-Know/Documents/Retention_Schedule.pdf Essex County Council Corporate Retention Schedule 2016
4 http://www.nationalarchives.gov.uk/documents/information-management/sched_accounting.pdf TNA 2006
5 http://www.rcsouthwark.co.uk/archive%20media/Southwark%20Diocese%20record%20keeping%20advice%20for%20parishes.pdf Southwark Archdiocesan Archive Caring for Parish Records
6 http://documents.manchester.ac.uk/display.aspx?DocID=6514 University of Manchester 2017
7 https://ico.org.uk/media/about-the-ico/policies-and-procedures/1904/ico-retention-schedule.pdf Information Commissioner’s Office Retention Schedule
8 http://www.nationalarchives.gov.uk/documents/information-management/sched_personnel.pdf The National Archives Retention Scheduling: Employee Personnel Records
9 https://www.ed.ac.uk/files/imports/fileManager/HRRetentionSchedulePt4.pdf University of Edinburgh Records Retention Schedule: HR Records
10 https://www.ucl.ac.uk/library/docs/retention-schedule.pdf UCL Retention Schedule 2015
11 https://www.hw.ac.uk/services/docs/Estates_Managment.pdf Heriot Watt University Records Retention Schedule for Estate Management
12 https://www.towerhamlets.gov.uk/Documents/Information-management/Records-management/Retention-scheduling/DR-Retention-Schedule-2-0.pdf Retention Schedule Development and Renewal (D&R) Tower Hamlets 2014
13 https://c.ymcdn.com/sites/irms.site-ym.com/resource/collection/8BCEF755-0353-4F66-9877-CCDA4BFEEAC4/2016_IRMS_Toolkit_for_Schools_v5_Master.pdf Information Management Toolkit for Schools 2016
14 https://www.iicsa.org.uk/sites/default/files/retention-instructions-and-data-protection-requirements.pdf Guidance Note: Retention Instructions and Data Protection requirements
47
Revision History
15 http://www.shenfield.essex.sch.uk/downloads/content/Data%20Retention%20Policy%202016.pdf Shenfield High School: School Data Retention Policy 2016
16 http://www.legislation.gov.uk/ukpga/1970/9/pdfs/ukpga_19700009_en.pdf Taxes Management Act
17 https://www.hw.ac.uk/services/docs/Finance.pdf Heritage and Information Governance Records Retention Schedule for Finance
18 https://www.kent.gov.uk/__data/assets/pdf_file/0008/71468/Retention-Schedule.pdf Kent County Council Retention Schedule, updated December 2018
19 https://www.legislation.gov.uk/ukpga/1980/58 Limitation Act 1980
20 https://www.dabnet.org/ContentDocuments/896.pdf Diocese of Arundel & Brighton Retention & Disposal of Records Policy
21 https://www.methodist.org.uk/static/rm/document_retention.pdf Methodist Church - Guidance of best practice
22 https://www.hw.ac.uk/documents/data-protection-responding-to-requests.pdf Heriot-Watt University: Procedures for responding to requests for personal data to support Data Protection Policy
Version Author Description of Change Date
1.2 Alison Forsey, Records Management Assistant
Minor amendments to reflect compliance with GDPR and Data Protection Act 2018; repairing of a numbering anomaly in original document; addition of further sources; addition of processes and addition of revision history; changing of some wording within the guidance review guidance, creation of section 8; removal of redundant processes (4.1.3 merged into 4.1.1); ensuring inconsistencies in spelling and format is remedied and addition of record type; ‘related correspondence’ throughout the document.
10/01/2019
1.3 Alison Forsey, Records Management Assistant
Revision of retention period and greater description for 5.1.1; guidance updated to include reference to function of information and records management; ‘grazing license’ added to 3.3.1; ‘ School Governor meetings and minutes’ removed from 4.1.1 as it was listed twice; Information and Records Management retention numbers changed to allow space for future amendments; record type ‘cheques’ added to 1.2.1; ‘references’ as a record type with a different retention added as 2.1.6; hyperlink to ‘records disposal form’ edited as previous version broke the link.
04/04/2019